Broker-Dealers Articles

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Regulators Scrutinize B-D Nuisance Fees

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A new working group of state and federal regulators, along with brokerage firms, will look at unreasonable account transfer fees and other “service” charges broker-dealers levy on customers.

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RCAP, Pershing Come To Terms

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Officials at RCS Capital said Monday the company has developed a new pricing arrangement with its main clearing firm, Pershing LLC.

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Morgan Stanley Hires Three Brokers Who Managed Nearly $1.3 Billion

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The largest U.S. securities brokerage by sales force, Morgan Stanley, said this week it hired three financial advisors who collectively managed $1...

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Brokers Need Cheap Fed Funds In Emergency, Says Think Tank

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The nation’s largest broker-dealers should be guaranteed access to cheap Federal Reserve loans in emergencies, says Bipartisan Policy Center.

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Ex-Goldman Trader Loses In Bid For $5 Million More In Bonus

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A former Goldman Sachs Group trader struck out in his pursuit of almost $5 million in bonus money on top of $8.25 million he received in 2010.

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LPL Adds Freedom Wealth Alliance To Its Platform

by FA Staff

Based in Brookfield, Wis., Freedom Wealth Alliance is a newly launched, independent, hybrid RIA firm that manages $225 million.

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Schwab Loses $15 Million Arbitration Case Against Morgan Stanley

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Schwab lost a $15 million arbitration case against Morgan Stanley, which it accused of improperly recruiting brokers from a Schwab branch who left with confidential trade secrets.

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Borzi: 401(k) Brokerage Windows May Need Regulation

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An assistant DOL secretary says regulations or guidance may be needed to protect participants in 401(k) plans that allow investing in virtually all a brokerage has to offer.

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LPL Adds Financial Advocacy Network To Its Platform

by FA Staff

The Financial Advocacy Network supports four independent advisory practices with a total of approximately $450 million in client assets.

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Welch And Kleintop Leaving LPL

by FA Staff

Financial Advisor magazine has learned that Fortigent's Scott Welch will be the latest high-profile executive leaving an LPL Financial's investment unit.

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